| 10-03885 | 06/28/2012 | Claimant(s): Jeffrey Colflesh, Lora Colflesh, Jeffrey Colflesh IRA, Lora Colflesh IRA, Colflesh Trusts
Claimant Lawyers(s): James R. Walsh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Stacy Grant
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Jerold R. Babin, Mark R. Topper
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-05267 | 06/28/2012 | Claimant(s): Stacie Stallsworth-Bassi
Claimant Lawyers(s): Stacie Stallsworth-Bassi
Respondent(s): Jeffery Graumlich, Sigma Financial Corporation
Respondent Lawyers(s): Jonathan M. Sterling
Arbitrator(s): Alexandra M. Linden, Paul D. Gutierrez, D. Peter Gleichenhaus
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05380 | 06/28/2012 | Claimant(s): Deborah Charles
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): B. David Jarashow, Gerald Joseph Coughlin, Robert E. Anderson
Hearing Site: Newark, NJ
| | Expungement |
| 11-01143 | 06/28/2012 | Claimant(s): Bernard Gross, Myra Gross
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Kevin McCulloch, Morgan Stanley
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Stephen D. Arkwright, Mayra Adela Rodriguez, Seth H. Barsky
Hearing Site: Detroit, MI
| | Expungement |
| 11-03064 | 06/28/2012 | Claimant(s): Karen Stallard, Lambert Stallard
Claimant Lawyers(s): Jan Graham
Respondent(s): Jackie Wadsworth, Richard Childs, IMS Securities.
Respondent Lawyers(s): Casey W. Jones
Arbitrator(s): Ralph B. Perry
Hearing Site: Las Vegas, NV
| | Expungement |
| 12-00287 | 06/28/2012 | Claimant(s): Leslie Turchi
Claimant Lawyers(s): Kevin J. Deloatch
Respondent(s): Terrance Dewald
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): J. Kirkland Grant, Alice J. Johnson, Michael Lloyd Weisel
Hearing Site: Atlanta, GA
| | Expungement |
| 10-04670 | 06/28/2012 | Claimant(s): Amanullah Quadri, Najma Quadri
Claimant Lawyers(s): Amanullah Quadri
Respondent(s): Bellevue Chicago
Respondent Lawyers(s): Justin M. Garbaccio
Arbitrator(s): James A. Murphy
Hearing Site: Chicago, IL
| | $0 |
| 11-02854 | 06/28/2012 | Claimant(s): Barry Irwin
Claimant Lawyers(s): Wayne S. Koppel
Respondent(s): Wells Fargo Advisors, Richard Fulton
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Richard S. Zaifert
Hearing Site: Boca Raton, FL
| | $0 |
| 11-03711 | 06/28/2012 | Claimant(s): Eugene Crouch
Claimant Lawyers(s): Eugene M. Crouch
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Patricia Gunn
Hearing Site: Jacksonville, FL
| | $0 |
| 09-07216 | 06/27/2012 | Claimant(s): Dianne Atkins, James Atkins
Claimant Lawyers(s): Stephen D. Spivey
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Whitney Krosse
Arbitrator(s): Constance d'Angelis
Hearing Site: Tampa, FL
| | Stipulated Award |
